TITLE

Calls to Clients and Prospects: Focus on Service

AUTHOR(S)
Vessenes, Katherine
PUB. DATE
April 1998
SOURCE
Journal of Financial Planning;Apr98, Vol. 11 Issue 2, p22
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article presents an excerpt from the telemarketing scripts used by Timothy Phillips of Phillips & Company between 1995 and 1996 to build his business. The National Association of Securities Dealers (NASD) considered the telemarketing scripts as too aggressive. The NASD censured the firm and Phillips, entering a joint and several fine. The telemarketing script serves to illustrate the need to be cautious whenever on the telephone with clients or potential clients. The NASD adopted rules about cold-calling and telemarketing designed to implement certain U.S. Federal Communication Commission rules that require telemarketers to establish and maintain a list of persons who have requested they not be contacted by the telemarketer during June 1995.
ACCESSION #
502846

 

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